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International Co-Operation in Litigation: Switzerland

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Abstract

Swiss practices of international co-operation in litigation are influenced by Switzerland’s federal system of government and by its national policy of neutrality, which has enabled it to avoid becoming embroiled in Europe’s wars for over a hunderd years. To some extent, these influences are responsible for a lack of harmony between Swiss and American procedures. However, it should be stressed at the outset that, although the difficulties inherent in obtaining Swiss co-operation in international litigation are often mentioned,1 the real problem is not that Switzerland is reluctant to grant any co-operation, but that it frequently insists upon compliance with its own procedures.

The authors are greatly indebted to the Honorable Dr. C. Markees, Head of the Section on Extradition and International Co-operation in Litigation of the Swiss Federal Department of Justice and Police. Dr. Markees not only provided many valuable comments on earlier drafts of this chapter, but also kindly furnished information on official Swiss views and policies.

Dr, iur., University of Zurich ; Professor of Civil Procedure, Universit y of Zurich ; President, Court of Cassation of the Canton of Zurich.

A. B. , University of Rochester 1955 ; LL.B., Harvard, 1958 ; Professor of Law, University of Minnesota.

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References

  1. For a description of these difficulties, see, e.g., Doyle, Taking Evidence by Deposition and Letters Rogatory and Obtaining Documents in Foreign Territory, A.B.A., Sec. Int’l & Comp. L. 37, 38-38 (1959); Jones, International Judicial Assistance: Procedural Chaos and a Program For Reform, 62 Yale L. J. 515, 520-21 (1953). On Swiss practices of international co-operation in litigation generally, see Guldener, Internationales Und Interkantonales Zivilprozessrecht DER Schweiz (Zurich 1951, Supp. 1959); Markees, Probleme der Internationalen Rechtshilfe in Strafsachen, Goltdammer’s Archiv FüR Strafrecht 353 (1958); Meili & Mamelok, Das Internationale Privat & Zivilprozessrecht Auf Grund DER Haager Konventionen (Zurich 1911); Daum, Zivile Rechtshilfeersuchen IM Schweizerischen Internationalen Rechtshilfeverkehr (Thesis, Zurich 1938); Gonseth, DES Notifications DE LA Procédure Civile Dans Les Relations Internationales (Thesis, Lausanne 1925). There are no embracing regulations in Switzerland relating to international co-operation in ligitation. Indeed, virtually all rules are grounded in unwritten tradition rather than in statutory or administrative texts. However, the Department of Justice and Police is presently engaged in the preparation of regulations.

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  2. Other federal tribunals are the military courts, which deal with crimes committed by army personnel, and the Federal Court of Insurance in Lucerne, which adjudicates controversies in regard to workmen’s compensation, old age pensions, and insurance claims arising under Swiss federal law. For a brief discussion of the Swiss federal courts, see Szladits, Guide TO Foreign Legal Materials — French, German, Swiss 345 (1959). For an excellent synopsis of judicial organization in Switzerland, see id. at 340-55.

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  3. The Swiss Government takes the position that this manner of service is available only when, under the applicable foreign law, no procedural consequences result from the service. Letter of Swiss Federal Department of Justice and Police of November 7, 1963, addressed to the editor.

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  4. Cf. Riezler, Internationales Zivilprozessrecht 684 (Berlin & Tübingen 1949). However, the document may draw attention to adverse procedural consequences that may attend failure to comply with the directions embodied in the document. Ibid.

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  5. Bundesratsbeschluss betreffend die Zuständigkeit der Departemente und der ihnen unterstellten Amtsstellen zur selbständigen Erledigung von Geschäften of November 17, 1914, art. 17(2). I Bereinigte Sammlung DER Bundesgesetze Und Verordnungen (Revised Official Edition of Federal Statutes and Regulations) 1848–1947 [hereinafter 289 et seq.

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  6. Declaration between Switzerland and Belgium, November 29, 1900, 12 BS 289; Declaration between Switzerland and Germany, December 13, 1878, and April 30, 1910, 12 BS 292 et seq.; Declaration between Switzerland and France, February 1, 1913, 12 BS 298 et seq.; Declaration between Switzerland and Austria, December 30, 1899, 12 BS 316 et seq.; Declaration between Switzerland and Poland, August 18, 1928, 12 BS 333 et seq.; Protocol concerning the execution of the treaties between Switzerland and Italy, concluded on July 22, 1868, 11 BS 681.

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  7. The German text of article 271 is: “Wer auf schweizerischem Gebiet ohne Bewilligung für einen fremden Staat Handlungen vornimmt, die einer Behörde oder einem Beamten zukommen, wer solche Handlungen für eine ausländische Partei oder eine andere Organisation des Auslandes vornimmt, wer solchen Handlungen Vorschub leistet, wird mit Gefängnis, in schweren Fällen mit Zuchthaus bestraft.”

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  8. The leading Swiss decision on the subject was rendered under a predecessor of article 271 of the present Strafgesetzbuch (Penal Code). It involved Germans residing in Germany who were owners of shares of a Swiss joint-stock company. The German fiscal authorities, who suspected the German shareholders of evading German taxes and violating German regulations on the holding of capital in foreign countries, requested the Reichstreuhandgesell-schaft (apparently a private enterprise) to examine the books and papers of the Swiss company and to report to the German fiscal authorities and the German shareholders — to the latter on purely private matters in dispute among them. The Reichstreuhandgesellschaft sent an agent to Switzerland who examined the books of the company. He was arrested and jailed. The Swiss Federal court, in finding him guilty of the offense specified in Article 271, held it immaterial that it could not be proved that the agent was a German official, inasmuch as he acted in the interests of the German fiscal authorities. The examination of books on behalf of fiscal authorities was considered to be an act normally carried out by officials and not to be performed in Switzerland by a foreign official or by a private person on behalf of a foreign authority. Kämpfer v. Zürich Staatsanwaltschaft, Bundesgericht, March 6, 1939, 65 (I). S.B.G. 39.

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  9. Sections 10 and 11 of the Eidgenössisches Auslieferungsgesetz (1892) are interpreted to prohibit assistance in connection with political and fiscal crimes.

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  10. Gerichtsverfassungsgesetz (Statute on the Orginazation of the Judiciary) [hereinafter GVG] of Zurich §§ 186-97, 206, Züricher Gesetzessamlung DER AB 1. January 1961 IN Kraft Stehenden Erlasse DES Kantons Zürich (Official collection of the statutes of the Canton of Zurich in force on January 1, 1961) vol. 6, pp. 177 et seq.

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  11. Vollziehungsverordnung I zum Postverkehrsgesetz (Postal Regulation I supplementary to the Statute on Postal Communications) [hereinafter VZV] of December 23, 1955, art. 105, Amtliche Sammlung DER Eidgenössischen Gesetze (Official collection of the Federal Statutes) [hereinafter AS] 1956, pp. 44 et seq.

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  12. VZV art. 50, AS 1956, p. 20.

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  13. VZV art. 103, AS 1956, p. 43.

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  14. See, e.g., 56 AM. J. Int’l L. 794 (1962).

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  15. The statements in the text reflect the views of the Swiss Government, which takes the position that anything that amounts to an examination of the declarant by someone who poses questions is ordinarily performed by a government official in Switzerland and therefore forbidden by article 271 of the Penal Code. See also text at notes 4-5 supra.

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  16. Strafgesetzbuch (Penal Code) of Switzerland [hereinafter SGB] § 307.

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  17. The Swiss Government takes the position that article 271 of the Penal Code prohibits this type of examination. See also note 15 supra. See also Smit, International Co-operation in Civil Litigation: Some Observations on the Roles of International Law and Reciprocity, 9 Neth. Int’l L. Rev. 137, 145-46 (1962) (arguing that if Article 271 applies, the Swiss Government should grant a dispensation).

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  18. See Smit, supra note 12, at 144-45.

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  19. Zivilprozessordnung (Code of Civil Procedure) [hereinafter ZPO] of Zurich §§311 et seq.

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  20. Strafprozessordnung (Code of Criminal Procedure) [hereinafter SPO] of Zurich § 128.

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  21. Zurich ZPO § 196.

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  22. SGB art. 292.

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  23. Ordinarily, a person is incompetent to testify on behalf of Swiss or foreign proceedings: (1) if he is a party to the litigation; (2) in civil matters (except in family matters and especially in divorce cases), if he is a descendant or ascendant or the brother or sister or husband or wife of the party taking the testimony or when there exists a corresponding affinity by marriage between the witness and the party (Zurich ZPO § 185); or (3) under the law of most cantons, if he is under a certain age (Berne ZPO § 244 specifies 12 as the minimum age) or of unsound mind or lacking the necessary organs of the senses (Berne ZPO § 244). However, a party may ordinarily be examined as a party. Further, not all cantons declare relatives incompetent witnesses. See Berne ZPO §§ 243, 244. A witness may invoke a privilege and is not obliged to testify on behalf of Swiss or foreign proceedings in the following cases: (1) when he is a descendant or ascendant or the brother or sister or husband or wife of a party (it is immaterial whether this party is taking the testimony or not) or when there exists a corresponding affinity by marriage between the witness and the party (Zurich ZPO § 186, SPO § 129); (2) in civil matters, a witness may decline to answer questions on facts confided to him in his capacity of advocate, notary, member of the medical professions, pastor, or official; and (4) in civil matters, if and to the extent that the court relieves the witness from answering questions as to business secrets (Zurich ZPO §§ 187, 188; Zurich SPO § 130).

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  24. Bundesverfassung der schweizerischen Eidgenossensschaft (Federal Constitution of the Swiss confederation) of May 29, 1879, art. 49.

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  25. This is true in the canton of Zurich.

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  26. SGB art. 307. The recalcitrant witness may be imprisoned for up to five years.

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  27. For representative provisions relating to the oath, see Code de Procédure Civile (Code of Civil Procedure) [hereinafter Cpc] of Fribourg arts. 210, 222; Geneva Cpc art. 231; Lucerne Cpc art. 176.

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  28. Zurich GVG art. 165.

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  29. Berne ZPO art. 256.

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  30. The available privileges in the canton of Zurich are set forth in Zurich ZPO §§ 186, 187, 188.

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  31. SGB arts. 320, 321.

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  32. Zurich ZPO § 172; Zurich SPO § 150.

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  33. See SGB art. 306. The maximum penalty for false testimony is five years of penal servitude. SGB art. 307. The maximum penalty for making a false statement is three years of penal servitude. SGB art. 306. A Swiss court is under no compulsion to use the results of party interrogation as evidence in a proceeding pending before it. Furthermore, the court may use the interrogation, but refrain from applying the sanctions for false testimony. See Zurich ZPO § 182. According to Zurich ZPO § 182, a civil fine in the nature of a disciplinary measure rather than a criminal sanction may be imposed on a party who has made false Statements. There are no sanctions at all against a defendant in criminal proceedings.

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  34. See text at notes 9, 19-23 supra.

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  35. In this case, the Swiss Government permitted the United States Justice Department to discover documents in Switzerland. For one aspect of this protracted litigation, see Société Internationale v. Rogers, 357 U.S. 197 (1958).

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  36. Production of documents is provided for by Zurich ZPO §§ 228, 230, 231.

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  37. Zurich ZPO § 228.

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  38. Federal Code of Procedure art. 55. This code applies only in proceedings before the Bundesgericht.

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  39. See, e.g., Berne ZPO arts. 235, 236.

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  40. See, e.g., Einführungsgesetz zum Zivilgesetzbuch (Law on the Introduction of the Swiss Civil Code) of Zurich § 232. This statute deals with problems of cantonal law created by the introduction of the Civil Code.

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  41. Code d’Obligations (Code of Obligations) [hereinafter CO] art. 963.

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  42. E.g., Zurich SPO §§ 99-101.

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  43. Bundesgesetz über das Schiffsfahrtsregister (Federal Law on the Ships Register) of September 28, 1923; Bundesgesetz über die Seeschiffsfahrt unter Schweizerflagge (Federal Law on Sea Navigation under Swiss Flag) of September 23, 1953, arts. 17, 19.

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  44. Bundesgesetz über die Luftfahrt (Federal Law on Aviation) of December 21, 1948.

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  45. Bundesgesetz betriffend den Schutz der Fabrik-und Handelsmarken (Federal Law on the Protection of Factory and Trade Marks) of September 26, 1890.

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  46. Bundesgesetz betriffend die Erfindungspatente (Federal Law on Patents of Invention) of June 25, 1954.

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  47. Bundesgesetz über die gewerblichen Muster und Modelle (Federal Law on industrial Petty Patents and Designs) of March 30, 1900.

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  48. Zivilgesetzbuch (Civil Code) [hereinafter Zgb] arts. 39-51 and 942. 49 CO arts. 927-56.

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  49. Zgb art. 970.

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  50. E.g., Grundbuchverordnung (Ordinance on Real Estate Register) art. 105.

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  51. There is no specific statutory authorization for the issuance of summaries and statements that no records of a specified tenor can be found.

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  52. See Reglement für die Bundeskanzlei (Regulation for the Federal Secretariat) of July 23, 1920, art. 15, I BS 339.

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  53. The publication is called Verwaltungsentscheidungen DER Bundesbehörden (Administrative Decisions of Federal Agencies). One volume is published each year. The last published volume deals with the year 1958 and contains 107 opinions and decisions selected by the heads of various departments.

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  54. In Zurich, the notary is an official. See Gesetz betriffend die Organisation der Notariatskanzleien (Law on the Organization of Notary Offices) (1909). In Berne, Basle, Geneva, and Fribourg, they appear to be practicing attorneys.

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  55. See generally Gesetz betriffend die Organisation der Notarialskanzleien of Zurich (1909).

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  56. Bundesbeschluss über Herausgabe einer bereinigten eidgenössischen Gesetzessammlung für die Jahre (Federal Resolution on the Publication of a Revised Collection of Federal Statutes) 1848–1947 of April 4, 1946; Bundesgesetz über die Rechtskraft der bereinigten Sammlung der Bundesgesetze und Verordnungen (Federal Law on the Legal Force of the Revised Collection of Federal Laws and Regulations) of March 12, 1948. The 15 volume set is an official publication ordered by act of Parliament.

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  57. See, e.g., Aargau ZPO § 99; Freiburg ZPO §18; Graubunden ZPO § 63; Luzern ZPO § 56; St. Gallen ZPO § 125; Schwyz ZPO § 98; Solothurn ZPO § 14; Thurgau ZPO § 76; Wallis ZPO § 98. Section 29 of the Bundesgesetz über die Organisation der Rechtspflege (Federal Law on the Organization of the Administration of Justice) [hereinafter OG] provides: “Parties with residence abroad have to choose a domicile for service in Switzerland on which valid service may be made. Service on parties not complying with that duty may not take place or may be made by publication.”

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  58. The codes do not distinguish between service on behalf of a principal residing in Switzerland or on behalf of a principal residing abroad.

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  59. Zurich GVG §§ 190, 194, 206.

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  60. Zurich GVG §§ 190, 206.

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  61. See, e.g., OG § 29 (4).

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  62. The codes do not specify that letters rogatory should be used. They provide only that witnesses are to be examined by the court of their residence. E.g., Zurich ZPO § 194.

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  63. It may well be argued that, since most foreign states do not object to service of foreign documents threatening penalties, service by a Swiss official does not infringe upon foreign sovereignty until after the foreign sovereign has objected to such form of service. See Smit, supra note 12, at 144-45. For support of the view that such service never infringes upon foreign sovereignty, see Blackmer v. United States, 284 U.S. 421, 430 (1932).

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  64. Bundesblatt der Schweizerischen Eidgenossenschaft 1910 I, p. 294, No. 2.

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  65. Declaration between Switzerland and Germany, December 13, 1878, and April 30, 1910, note 6 supra.

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  66. Declaration between Switzerland and France, February 1, 1913, note 6 supra.

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  67. Protocol concerning the execution of the treaties between Switzerland and Italy, concluded on July 22, 1868, note 6 supra.

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  68. Declaration between Switzerland and Austria, December 30, 1899, note 6 supra.

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  69. Declaration between Switzerland and Belgium, November 29, 1900, note 6 supra.

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  70. Declaration between Switzerland and Poland, August 18, 1928, note 6 supra.

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  71. There are no express provisions for issuing letters rogatory; the courts are apparently assumed to possess inherent power to issue them.

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  72. See notes 66-71 supra. In criminal matters, letters rogatory may proceed from the investigating magistrate or public prosecutor to the foreign public prosecutor or to a court.

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  73. Treaty with Germany of February 14, 1907, 12 BS 401; Treaty with Austria of August 21, 1916, 12 BS 404; Treaty with Czechoslovakia of December 21, 1926, 12 BS 337.

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  74. Treaty with Germany of February 14, 1907, BS 401.

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  75. The Supreme Court is required to decide questions of Swiss law only. OG art. 43.

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Authors
  1. Max Guldener
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  2. Arthur R. Miller
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Editor information

Hans Smit

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© 1965 Martinus Nijhoff, The Hague, Netherlands

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Guldener, M., Miller, A.R. (1965). International Co-Operation in Litigation: Switzerland. In: Smit, H. (eds) International Co-Operation in Litigation: Europe. Springer, Dordrecht. https://doi.org/10.1007/978-94-011-9208-8_15

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  • DOI: https://doi.org/10.1007/978-94-011-9208-8_15

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